Senior Compliance Manager - Enhanced Monitoring & Supervision
New
M
Mercer AdvisorsFinancial Services
Location: Remote, USA, Standard business hours of Monday through Friday from 8AM to 5PMFull-TimeManager
SalaryBase Pay Range $127,500 — $150,000 USD
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Job Details
- Experience
- 5+ years
- Required Skills
- Microsoft OfficeComplianceRisk Management
Requirements
- Bachelor’s degree required.
- 5+ years of experience in compliance or risk management.
- Strong knowledge of investment adviser regulations, AML and enhanced due diligence requirements.
- Strong analytical, investigative, and documentation skills.
- Ability to exercise sound judgment and maintain confidentiality in sensitive matters.
- Strong written and verbal communication skills, including interaction with regulators.
- Proficiency in Microsoft Office applications (Excel, Word, Outlook, PowerPoint).
- CAMS or equivalent AML certification preferred.
Responsibilities
- Design and implement high risk client identification and evaluation framework.
- Develop risk scoring methodology and high-risk criteria based on client risk indicators, regulatory obligations and firm risk thresholds.
- Monitor internal employee and advisor activities for elevated compliance risk.
- Design and manage heightened supervision plans for advisors.
- Monitor high risk business practices including onboarding, fees, and vendor relationships.
- Conduct risk assessments for clients, employees, and business practices.
- Develop dashboards and reporting for senior management.
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